RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
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- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated currentsince Jul 6, 2026 · St. Louis, Mo
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Jun 2, 2026 · Houston, Tx
- D••••••• B••• S••••••••• I••• no RAUMDec 16, 2004 to Sep 6, 2016 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• to B••••••• F• E•••••• • C••••••• I•••••••••left Jun 2, 2026, registered Jul 6, 2026 (34 days) · Affiliated broker-dealer or bank to another
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- L••••• L••• G••••••••• left R•••••• J•••• • A••••••••• I••• for B••••••• F• E•••••• • C••••••• I••••••••• (registered 2026-07-06)Jun 2, 2026 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address